). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA...
required, specifically in a broker/dealer or registered investment advisor environment FINRA Series 65 Required Bachelor's degree...
FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides reasonable...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
Expertise: Hands-on experience with CAT Technical Specifications, CAIS phases, OATS, EBS, blue-sheets, or other SEC/FINRA..., trade reporting facilities (TRF), and clearing workflows. Regulatory Insight: Understanding of SEC Rule 613, FINRA...
clients - this role is for you. What you have Required Qualifications: A valid and active FINRA Series 7 license... required Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during your tenure...
Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the...
Regulatory Authority (FINRA) Series 6 and 63 licensing is a plus;candidates with great sales acumen will be considered pending...
(FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G...
, FINRA Series 6, state registration (including 63 if required), and Life licenses are minimum requirements. All unlicensed...